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Self-regulatory organizations
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#	Item
891	The original documents are located in Box 25, folder “[removed]S249 Securities Act Amendments of[removed])” of the White House Records Office: Legislation Case Files at the Gerald R. Ford Presidential Library. Copyright Add to Reading List Source URL: www.fordlibrarymuseum.gov Language: English - Date: 2014-07-31 14:35:21 Financial system Financial economics 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Act Municipal Securities Rulemaking Board Securities market United States securities law Financial regulation Self-regulatory organizations
892	Panelist for Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded Customers and Funds Deposited by Customers Add to Reading List Source URL: www.cftc.gov Language: English Finance Financial markets United States securities law Commodities market Futures contract Financial Industry Regulatory Authority National Futures Association Goldman Sachs Commodity Exchange Act Financial economics Investment Self-regulatory organizations
893	Havener Capital Partners LLC Comments on Regulatory Notice 14-09 Add to Reading List Source URL: www.finra.org Language: English - Date: 2014-05-01 11:22:20 Economy of the United States United States securities law Self-regulatory organizations Financial Industry Regulatory Authority
894	Let’s Make It Clear: How Central Counterparties Save(d) the Day* BY CYRIL MONNET T Add to Reading List Source URL: www.philadelphiafed.org Language: English - Date: 2010-03-11 10:10:04 Financial markets Securities Stock market Self-regulatory organizations Clearing house LCH.Clearnet Credit default swap Futures exchange Futures contract Financial economics Finance Financial system
895	THOMSON REUTERS FINANCIAL AND RISK MANAGEMENT REUTERS/TYRONE SIU CAN YOUR TECHNOLOGY WITHSTAND THE PACE AND Add to Reading List Source URL: thomsonreuters.com Language: English - Date: 2014-03-17 07:17:39 Finance Self-regulatory organizations Financial services Thomson Reuters Financial Industry Regulatory Authority Regulatory compliance U.S. Securities and Exchange Commission Broker-dealer Regulatory capture Financial economics United States securities law Financial system
896	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASDAQ[removed]January 13, 2010 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Gra Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-13 18:17:27 Stock market United States securities law United States Securities and Exchange Commission Financial markets Economy of the United States NASDAQ Securities Exchange Act Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Financial economics Investment Finance
897	Securities Alert OCTOBER 2 4‚ 2011 SEC’s Microcap Fraud Working Group Roundtable Airs Problems, Offers Suggestions BY M EGAN N. GATES AND C. QUI NCY EW ELL Add to Reading List Source URL: www.mintz.com Language: English - Date: 2011-10-24 15:59:37 United States securities law Self-regulatory organizations Stock market Securities Financial services OTC Bulletin Board U.S. Securities and Exchange Commission Securities Exchange Act Financial Industry Regulatory Authority Financial economics Financial system Finance
898	Americans for Financial Reform * Alliance for Justice * Center for Justice and Democracy * Consumers Union * National Association of Consumer Advocates * National Consumers League * Public Investors Arbitration Bar Assoc Add to Reading List Source URL: www.citizen.org Language: English - Date: 2015-01-20 18:37:38 Private law Self-regulatory organizations United States securities law Legal terms Business law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Financial adviser Stock broker Law Business Arbitration
899	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]January 20, 2015 Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change to Amend Add to Reading List Source URL: dtcc.com Language: English - Date: 2015-01-21 14:56:02 ACT NASDAQ U.S. Securities and Exchange Commission Securities Exchange Act Financial regulation Government United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
900	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]November 19, 2014 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness Add to Reading List Source URL: dtcc.com Language: English - Date: 2015-01-06 12:06:22 United States securities law Securities Depository Trust & Clearing Corporation Securities Exchange Act ACT Financial economics Financial system Finance

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